APPROVED PRODUCER PROGRAM AND
CERTIFIED AGGREGATES

APPROVED
PRODUCER PROGRAM

In order to furnish
certified aggregates to projects, an aggregate producer shall be on the
approved aggregate producer listing (Appendix B, attached). This will also
apply to recycled product yards and/or processors. The specific requirements,
including the details of the required quality control program are in Appendix A
(attached).

Specification limits for
aggregates being produced are found in Appendix C and D. For complete details
on aggregate quality and gradation requirements, refer to the appropriate
referenced specification.

Non-compliance to the
approved Producer Quality Control Program shall constitute grounds for the
source and/or producer to be placed on conditional status by the District
Materials Engineer. Continued non-compliance will be considered sufficient
grounds to remove the producer from the Approved Producer List.

Appendix E contains the “Notification of
Violations of the Approved Producer’s Quality Control Program”. This is a
written notice from the District Materials Coordinator or District Materials
Engineer to a Producer identifying violation(s) of the Producer’s Quality
Control Program or requirements of the Approved Producer Program. A written
response is required from the Producer describing how the violation occurred,
how the violation will be rectified, and what will be done so the violation
will not occur or continue to occur in the future.

An Aggregate Review
Board will meet, as needed, for disciplinary actions and appeals involving
Approved Producers.

The Aggregate Review
Board shall consist of:

·The State Construction and Materials Engineer

·The Chief Construction and Materials Geologist

CERTIFIED
AGGREGATES – SAMPLING AND TESTING

The Aggregate Producer shall be responsible for
source product quality control. Aggregate quality will be determined by testing
samples secured by District Materials personnel. This will not relieve the
producer or supplier of their responsibility for quality of the material. Producers must meet the responsibilities
outlined in Guidelines for Aggregate Producer Quality Control Program,IM 209 Appendix A.

Not less than 24 hours
before start up, or as soon as possible for a production change, the
appropriate District Materials Engineer shall be notified. The notification
shall include the estimated daily production and total production, the intended
use (project or warehouse stock), production ledge(s) if applicable, and
responsible person(s). Failure to notify may result in additional quality
sampling and testing, or rejection of the material.

Aggregates to be used in highway construction projects
shall be subject to sampling and testing, including Producer Quality Control
(QC) sampling and testing. Sampling and testing shall be performed during
production in accordance with the minimum frequencies listed in the table
below.

TABLE
1. SOURCE SAMPLING AND TESTING REQUIREMENTS

Sample
Type

Producer
Quality Control Testing Frequency

Iowa
DOT Verification Testing Frequency

Proportioned
Aggregates

Gradation

1/1500
T(1, 4) minimum

1/18,000
T(2, 4)

Quality

1/12,000
T or 1/month, whichever is more frequent (3)

1/12,000
T or 1/month, whichever is less frequent (2)

Non-Proportioned
Aggregates

Gradation

1/3000
T(1) minimum

1/18000
T(2)

Quality

1/12,000
T or 1/month, whichever is more frequent (3)

1/12,000
T or 1/month, whichever is less frequent ( 2)

Notes:

1Additional QC
testing may be required at the time material is shipped to a project, for a
stockpiled material carried over a winter season or if there is evidence of
segregation, contamination, or degradation.

2May be adjusted by
the DME for source specific needs.

3When required by the DME for sources
where historic quality test results have approached or exceeded the
specification limits (IM 307, 344, and 368).

4Variation of
Fineness Modulus (FM) by more than 0.2 lower than the target fineness or more
than 0.25 greater than the target fineness modulus should be investigated.

A.Producer
Quality Control Sampling & Testing

Producer QC sampling
and testing personnel, laboratories, and equipment shall be qualified in
accordance with the Iowa DOT Technical Training & Certification Program (IM
213) and the Materials Laboratory Qualification Program (IM 208). If Producer
gradation test results are used as part of an acceptance decision, they will be
evaluated under the Independent Assurance Program.

It
is recommended that a Producer Quality Control Program include quality control
testing to assist with ledge control and pit quality. Such tests may include:
specific gravity (IM 307), clay lumps and friable material (IM 368), or shale
in fine aggregate (IM 344). If historic data from a source indicate that
quality test results approach or exceed specification limits the Engineer may
require specific data be provided by the aggregate producer or supplier to the
Iowa DOT (obtained by qualified persons and procedures). These data may include
those tests listed above. See Table 1 for frequencies.

B.Iowa DOT Verification Sampling & Testing

The District Materials Office
will be responsible for monitoring the Producers Quality Control Program.
Verification of quality and gradation is through independent sampling and
testing. Verification sampling and testing is done by Agency personnel. Agency
sampling and testing personnel, laboratories, and equipment will be qualified
in accordance with the Iowa DOT Technical Training & Certification Program
(IM 213) and the Materials Laboratory Qualification Program (IM 208).

When requested by the Agency,
Producer or Contractor personnel shall assist with the sampling as directed and
witnessed by the certified Agency personnel. The sample location and time will
be randomly selected by the Agency (except when noted elsewhere) and will only
be given to the Producer immediately prior to sampling. To maintain the
integrity of the sample, it will be transported by Agency personnel or secured
by a tamper proof method and transported by the Producer. The Agency may spilt
the verification sample and give a portion to the Producer.

Verification
gradation test results, when non-complying, will normally be provided to the
Producer within 3 working days of sampling.

At
no time will the District Materials Office representative issue directions to
the producer. However, the representative will have authority and
responsibility to question and where necessary reject any operation, which is
not in accordance with the Specifications, Special Provisions, and
Instructional Memorandums.

C.Validation
of Non-Proportioned Aggregate Test Results

The
verification gradation test results will be compared to the QC test results to
validate the QC results for non-proportioned aggregate. Validation is based on
the verification test results being within the specification limits. When the
QC test results cannot be validated, the dispute resolution process will be
used. Material shall not be shipped from the stockpile until the dispute is
resolved. NOTE: Verification test results may be used solely
for acceptance. When verification test results are used solely for acceptance,
the acceptance criteria is Article 4109.

D. Fine
Aggregate Test Results for PCC

The
verification gradation test results may be used solely for acceptance. When
verification test results are used solely for acceptance, the acceptance
criteria is Article 4110. When failing verification gradation test results are
determined, validated QC test results may be used in the acceptance process at
the discretion of the District Materials Engineer.

E.Dispute
Resolution System

Validation disputes arising
between the Contracting Agency and the Producer or Contractor will be resolved
in a reliable, unbiased manner usually within two weeks of notification of a
dispute. If necessary, an evaluation will be performed by the Iowa DOT Central
Materials Laboratory. Resolution decisions by the Iowa DOT Central Materials
Laboratory will be final.

Unless specified elsewhere, the
District Materials Engineer will select some or all of the following steps for
the dispute resolution:

1.Perform
a comparison between the verification result and QC result(s) for the same time
period (If the QC sample is from a split with the verification sample, also
compare the previous independently taken QC result). Use the tolerances in IM
216. If the results are within the tolerance, validation is achieved.

2.Check
all numbers and calculations.

3.Isolate
material in dispute and begin a new stockpile. Resample stockpile material in
dispute.

4.Perform
tests on split obtained by Agency personnel.

5.Review
past proficiency and validation data.

6.Review
sampling and testing procedures.

7.Check
equipment operation, calibrations and tolerances.

8.In
the event of multiple validation failures for a source, the DME may use F-test
and t-test statistical methods to compare the set of QC results with the set of
verification results. A 0.05 level of significance will be used and a set of
at least 5 verification test results.

9.Involve
the Central Materials Laboratory.

If the discrepancy cannot be
resolved using the steps listed above then the Agency test results will be used
for the acceptance decision for that lot.

F.Small
Quantities

Verification sampling and
testing may be waived by the DME for product quantities of less than 2000 tons.
For quantities of less than 200 tons of non-critical aggregate, the DME may
waive QC testing and approve the stockpile based on a visual inspection by the
DME or the Engineer.

CERTIFIED
AGGREGATES – DOCUMENTATION

A. Producer
Test Documentation

All
producer test results performed on certified aggregates, whether compliant or
non-compliant, shall be reported weekly or as designated to the District
Materials Engineer on Form #821278. These reports shall indicate whether the
aggregate is being produced for direct project delivery, stockpiling for a
specific project, or for advance warehouse stock.

Selected
production limits shall be included on Form #821278.

Production
limits for aggregate produced for use in HMA or PCC mix designs are generated
by the contractor and supplied to the aggregate producer on Forms #955 and
#955QMC respectively.

B. Certified Aggregate Delivery Documentation

Documentation
may be accomplished by numbered truck ticket, transfer list or shipment
statement (such as Form #821278), or by a bill of lading (for rail or barge
shipments). The certified documentation shall be furnished to project
inspection personnel or receiving contractor before material is incorporated.

·For aggregates as bid items measured by weight (mass), the
certified truck tickets shall be numbered and include signatures or initials in
accordance with Article 2001.07.

·A “secure electronic signature” as defined by IM 209 Appendix G may be acceptable for certification of truck tickets in lieu of an original
signature.

In the case of
shipment by rail or barge, the documentation shall be sent to the project
engineer and receiving contractor or ready mix operator no later than the
same day as shipment source departure. The documentation shall include the
rail car or barge number(s).

·Documentation not having an exact weight (mass) shall include an
estimated quantity (i.e. transfer listings or Form #821278, etc.).

·Non-Proportioned Aggregate
Summaries

oIf
the Producer/Supplier QC test results are used in the acceptance decision for
non-proportioned aggregates, the Producer shall supply a signed certified summary documentation to the
Project Engineer, including: the source, the
type of material, the total quantity delivered,
and project number.

oWhen
Agency test results are used in the
acceptance decision of for
non-proportioned aggregate, the Producer/Supplier shall supply a signed certified summary documentation to the Project
Engineer and District Materials Engineer, including:
the source, type of material, the total quantity delivered, and project
number.

The
District Materials Engineer will
provide test reports to the Project Engineer.

The following
certification statement is required to be on the document used to certify the
material being delivered (i.e. truck ticket, Form #821278, etc.): “This is
to certify the material herein described meets applicable contract
specifications.” NOTE: This certification statement shall be
signed or initialed by an authorized representative of the aggregate supplier.

To ensure
proper identification of delivered aggregates, the following additional
information is required on the certification document:

Proportioned
Aggregate

When
the aggregate represented is for use in HMA or PCC mixtures, the project number
is preferred when practical, as in the case when shipping to a single project
paving plant site, and not required when impractical, as in the case when
shipping into warehouse stock at a ready mix plant or when shipping to a plant
supplying material to multiple projects.

Iowa DOT gradation number,
project number, quantity, source name and the delivery date. NOTE:
A T203 A-number is not required for Recycled plants.

REHANDLING OF
CERTIFIED AGGREGATES

When certified
aggregates are rehandled the District Materials Engineer shall be notified and
afforded the opportunity to monitor the re-handling procedure.

For the purpose of this
IM, re-handling is meant to include the physical unloading and reloading of
aggregate at a temporary storage site before the aggregate is delivered to its
final destination. Rehandled certified aggregates may be required to be
re-tested, with or without re-weighing and recertified on a numbered shipment ticket
with proper identification and certification statement.

ACCEPTANCE

At the Contractor’s and Producer’s own risk, aggregates
may be certified for project use before quality sample test results are
reported based on the following:

Complying Quality Control and Verification
gradations

Documentation of consistent previous compliance to
specified quality requirements from the source or ledge.

A. Proportioned
Aggregate

In
the case of HMA or PCC proportioned aggregates, acceptance tests will be
performed on verification samples obtained at the proportioning plant.

Certified proportioned aggregate
may be incorporated into a project on the basis of the certified truck ticket,
certified bill of lading, shipment listing, certified transfer listing or
Certified Gradation Test Report (Form #821278).

A
file of certified shipment or transfer documents for the HMA or PCC
proportioned aggregate will be maintained by the contractor or ready mix
operator and made available for inspection at each plant or project site during
the project period. Project inspection personnel shall verify that all material
incorporated in the project is properly certified and document this
verification and quantity on each of the appropriate daily or periodic
construction reports. No other project documentation for the incorporated
aggregate is required.

B.Non-Proportioned
Aggregate

Acceptance
of non-proportioned aggregates will be based on proper certification, visual
examination by the contracting authority to ensure against obvious contamination
or segregation, Producer quality control test results, and Agency verification
test results.

Minor quantities of
non-critical aggregates may be visually inspected by the contracting authority
and recorded in the project field book. Quantities less than 200 Mg (ton) are
considered minor. An example of a non-critical aggregate is a non-proportioned
aggregate such as granular backfill material for bridge abutments.

C. Independent
Assurance Program (IAP)

If Producer QC test results are
used in the acceptance decision for non-proportioned aggregate, each certified
technician who performs the QC sampling or testing and their test equipment will
be independently checked by Iowa DOT certified technicians (IAP personnel) as
per Materials IM 205 at least once per year. IAP personnel must not be
involved in gradation verification testing for the aggregate source being
tested.

IAP personnel will witness the Producer
technician taking a random sample and splitting that sample. The splits of the
sample will be tested by the Producer’s technician and by the Iowa DOT District
Laboratory. District Laboratory IAP testing equipment must not be the same
equipment that is used for gradation verification for that source.

The results will be compared
using IM 216. If acceptable correlation is not found, IAP personnel will contact
the Producer’s technician and review the results for the following:

1.Check
for recording, weighing, or calculating errors.

2.Check
to see that the balance is working correctly.

3.Check
the sieves for damage or out of tolerance openings.

4.Check
for overloading of sieves.

5.Check
for incomplete sieving.

6.Resolve
any problems, repeat the sampling, splitting, and observe the testing of a new
sample.

The IAP results are not to be
used in the acceptance decision for the material. Any non-complying IAP
results should result in a visit by the Iowa DOT inspector responsible for
verification testing at that location.

This method of IAP is called a
System Approach and requires the Iowa DOT to report a summary of the results
annually to the FHWA. Document when the Producer’s Technician was visited,
which Producer’s laboratory was used, the results, and any follow-up if
required. This documentation should be retained in the event of an FHWA audit.